Observations - Is Correction / Corrective Action a Must

[AnandR]

Hello All,

Is Root Cause, Correction / Corrective Action a must for observations reported in the aduit report?

Currently, we make this as a must for NC, but need expert advice for observations.

Thanks
Anand

[somashekar]

In Reply to Parent Post by AnandR

Hello All,

Is Root Cause, Correction / Corrective Action a must for observations reported in the aduit report?

Currently, we make this as a must for NC, but need expert advice for observations.

Thanks
Anand

A must ?
NO.....
It is for you to pick and make an improvement if you care to.
Since ISO9001 addresses continual improvement, the audit report brings to you some areas that you may consider for making an improvement.

[JJ777]

As stated by Somashekar it is mere an observation that could be used as an improvement action.
I would go as far to really analyze the observation as the auditor might found something that is not OK but not yet a NC but the next time the same observation appears it might lead to a NC.

[Jim Wynne]

In Reply to Parent Post by AnandR

Hello All,

Is Root Cause, Correction / Corrective Action a must for observations reported in the aduit report?

Currently, we make this as a must for NC, but need expert advice for observations.

Thanks
Anand

It depends on how "observation" is defined in your company. There is no universal requirement, and nothing in ISO 9001:2008 that addresses the question. In some cases, an observation might be the result of an auditor having seen something being done well.

[AndyN]

In Reply to Parent Post by AnandR

Hello All,

Is Root Cause, Correction / Corrective Action a must for observations reported in the aduit report?

Currently, we make this as a must for NC, but need expert advice for observations.

Thanks
Anand

Anand - good question! Well, it depends on how the 'observation' is written and its purpose. Are we talking about an internal auditor? Or is this a little 'goody' left behind by your Certification Body auditor?

Unless it's clear from the actual content of the observation that some action is needed to at least evaluate the situation, I wouldn't suggest any form of Corrective or Root cause analysis, frankly. Would you share with us the types of observations being written?

I can see a good case for such a situation where an auditor sees a potential situation arising, but, once again, it depends on how the thing is worded...

[AnandR]

Hello Andy,

Observations are as listed below.

Thanks,

Anand.

Analysis of time for each completion of project or tender my be made in the quarterly review.
Proposal may be updated in the monetary aspects if more than the prescribed participants as per proposal.

Objectives for customer satisfaction targets may be reviewed periodically. E.g. threshold of 6.5 seems low.
Objectives may also have % of responses and customer complaints solved on same day.
While filling the format for customer complaints, all columns may be filled especially signature and date columns.

1) Review comments on impact analysis & input review could be addressed.
2) All mails pertaining to project may be updated in the repository for better identification & traceability.
3) SCM – CM –Banking:When customer complaints are addressed via process and solutions delivered, a formal training to customer through necessary documentation can improve the implementation part by the customer and this may be incorporated in QP-10 Change Management.
4) Monitoring Quality Objective relating could be strengthened.
5) Documenting annual review process needs some improvement.
6) Evaluation of training programme could be strengthened. E.g. contract management training held on June 10 did not have complete evaluation and feedback by all 24 attendees.
7) Competency matrix/gap analysis and training plans to be worked out.

Competence requirements. Whenever competence requirements a relaxed formal approval may be recorded after defining the authority for relaxing the same.

[AndyN]

Well, from what you've provided, if I were a manager tasked with actions, I'd be wondering what I was being asked to do!

Maybe, just maybe, some of these are worthy of an action - the training evaluations not being done on all 24 people for example (was there a reason? Did the auditor ask?)

But simple statements like "documenting annual review process needs some improvement" are, frankly, unhelpful. Like someone coming up to me and saying "You could lose some weight"...maybe, but it takes more than a passing comment to be helpful!

If you were around at the time the auditor observed these things, what did you see? The same things? Most of it reads like busy work to me, since I can't see any evidence recorded by the auditor where there was a lack of effectiveness or efficiency which resulted from any of these points.

[rickpaul01]

This type of laundry list does not shine a good light on the auditor.